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Stand:updated on 07.02.2018 | Topic Measures Measures and sanctions by BaFin's Securities Supervision Directorate

On its website, BaFin makes public certain measures and sanctions which it has adopted due to contraventions of prohibitions and requirements in the sector of securities supervision or which have been made known to BaFin pursuant to section 335 (1d) of the German Commercial Code (Handelsgesetzbuch – HGB).

Non-anonymised publication

The following table provides a list of all cases of non-anonymised publication.

Date Title:
17.04.2025 Umwelt­Bank AG: BaFin im­pos­es ad­min­is­tra­tive fines
25.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on LIBERO foot­ball fi­nance AG
25.03.2025 Ta­lanx AG: BaFin im­pos­es ad­min­is­tra­tive fine
21.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on IHS Nr. 2 GS GmbH
21.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on DEMIRE Deutsche Mit­tel­stand Re­al Es­tate AG
21.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on DEMIRE Deutsche Mit­tel­stand Re­al Es­tate AG
21.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on IHS Nr. 2 GS GmbH
27.02.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on pfer­dewet­ten.de AG
27.02.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on pfer­dewet­ten.de AG
25.02.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Gate­way Re­al Es­tate AG

Anonymised publication

Under certain circumstances measures adopted by BaFin are made public on an anonymised basis. This is the case, for example, if publication would result in disproportionately large damage for the natural or legal person concerned. The following table provides an overview of all cases of anonymised publication:

Date Title:
21.10.2024 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
16.10.2024 Fail­ure to pub­lish the to­tal num­ber of vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fine
19.08.2024 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
19.08.2024 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
22.07.2024 Fail­ure to sub­mit no­ti­fi­ca­tion of own ac­count trans­ac­tions and vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
19.06.2024 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fine
16.11.2023 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
15.11.2023 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
06.09.2023 Fail­ure to sub­mit no­ti­fi­ca­tion of own ac­count trans­ac­tions and vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
09.08.2023 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines

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Publications on this topic

Format Measure Erscheinung: from 23.04.2025 Stand: , updated on 25.04.2025 An­nounce­ments re­gard­ing AK­BANK AG

BaFin has ordered that AKBANK AG must remedy shortcomings in the proper business organisation of anti-money laundering as well as other areas. A special commissioner appointed by BaFin is monitoring implementation. The institution must also meet increased own funds requirements. In addition, BaFin has imposed administrative fines in the total amount of EUR 432,500 on AKBANK AG.

Format Measure Erscheinung: from 17.04.2025 Stand: , updated on 25.04.2025 An­nounce­ment

On 3 April 2025, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines amounting to EUR 520,000 on UmweltBank AG. Over a period of several years, the company had been found to have shortcomings in its WpHG compliance function, thus contravening obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). An adequately resourced compliance …

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On 14 April, BaFin ordered Ethena GmbH to wind up its business that was subject to an authorisation requirement. The company had been issuing a crypto token called USDe. BaFin had already found serious deficiencies at Ethena GmbH during the authorisation procedure and imposed sanctions in this regard.

Format Measure Erscheinung: from 25.03.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on LIBERO foot­ball fi­nance AG

On 29 January 2025, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on LIBERO football finance AG.

Format Measure Erscheinung: from 25.03.2025 Stand: , updated on 03.04.2025 An­nounce­ment

On 6 March 2025, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 1,095,000 euros on Talanx AG. The fine was imposed because the company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). Talanx AG had failed to publish an announcement about the date from which and the website where its 2022 …

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